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JM

Joseph Mattarelliano Jr

PRIME EXECUTIONS
NEW YORK, NY
·CRD# 2895289·26 years experience

Professional Summary

Joseph Mattarelliano JR is a registered financial advisor currently at PRIME EXECUTIONS, INC. located in New York, New York. Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 19, SIE, Series 25, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

PRIME EXECUTIONS, INC.·CRD# 32889
BD
11 Wall Street (nyse Trading Floor)., New York, NY 10005
February 15, 2001 - Present
LADENBURG CAPITAL MANAGEMENT INC.·CRD# 14623
BD
Bethpage, NY
January 12, 2001 - April 30, 2001
DALTON KENT SECURITIES GROUP, INC.·CRD# 38813
BD
New York, NY
May 22, 2000 - January 31, 2001

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Current Firm

PE
PRIME EXECUTIONS, INC.

FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS

CRD#: 32889 / SEC#: 8-43985
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

40 Wall Street - 58th Floor, New York, NY 10005

Mailing Address

40 Wall Street - 58th Floor, New York, NY 10005

Phone Number

(212) 980-4400

Established

Delaware since 11/12/1987

Firm Type

Corporation

Fiscal Year End

March

Firm Size

Small

FINRA licenses (36 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FREEDOM HOLDING CORP.HOLDING COMPANY—
CARON, WAYNE ROGERCCO1422911
CHASKIN, DAVID RCFO, FINOP, POO, PFO5306238
MATTARELLIANO, JOSEPH JRINTERIM CEO2895289

Disclosures

Regulatory Event

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arizona
(2/25/2026)
RR
Colorado
(2/11/2026)
RR
Maryland
(2/10/2026)
RR
New York
(2/15/2001)
RR
Oregon
(2/10/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2000About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 19 — NYSE Floor Clerk - Equities Examination

Passed Jul 2020

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 25 — NYSE Trading Assistant Examination

Passed Jul 2001

Series 7 — General Securities Representative Examination

Passed Mar 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2025About the Series 24 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations
New York Stock Exchange
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Joseph Mattarelliano JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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